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Ursula Stephanie Auger

Ursula S. Auger

TOBIAS FINANCIAL ADVISORS
Plantation, FL 33324
Some features on this profile are disabled
CRD#: 4006888
Ursula Stephanie Auger

Professional summary

Ursula Stephanie Auger, CFP®, who also goes by Ursula Stephanie Auger Ms., Ursula Stephanie Jo Ms., Ursula Stephanie Jo, Ursula Stephanie Jo Lecca, is a registered financial advisor currently at TOBIAS FINANCIAL ADVISORS located in Plantation, Florida.

Ursula is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Ursula has worked at 9 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ursula Stephanie Auger Ms. | Ursula Stephanie Jo Ms. | Ursula Stephanie Jo | Ursula Stephanie Jo Lecca

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ursula Stephanie Auger's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2009

Experience

Current

January 15, 2026 - Present

TOBIAS FINANCIAL ADVISORS

Office #1: 1000 S. Pine Island Road Suite 450, Plantation, FL 33324
RIA
CRD#: 104711
Plantation, FL
Past

August 8, 2019 - March 24, 2022

PLANWYZ INC.

RIA
CRD#: 300257
Boca Raton, FL
Past

April 27, 2018 - November 19, 2025

KEATING INVESTMENT COUNSELORS INC

RIA
CRD#: 110134
DELRAY BEACH, FL
Past

September 26, 2016 - April 13, 2018

CASTLE WEALTH MANAGEMENT

RIA
CRD#: 118364
WEST PALM BEACH, FL
Past

May 29, 2007 - December 6, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
FORT LAUDERDALE, FL
Past

February 24, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
FORT LAUDERDALE, FL
Past

November 8, 2001 - July 22, 2003

STATETRUST INVESTMENTS INC.

BD
CRD#: 104651
BOCA RATON, FL
Past

May 1, 2001 - October 17, 2001

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

December 10, 1999 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TOBIAS FINANCIAL ADVISORS
TOBIAS FINANCIAL ADVISORS
BENJAMIN A. TOBIAS | TOBIAS FINANCIAL ADVISORS, INC. | TOBIAS FINANCIAL ADVISORS INC | TOBIAS FINANCIAL ADVISORS

CRD#: 104711 / SEC#: 801-33972

RIA
Registered Investment Advisory firm - (2/27/1989 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Florida
(1/15/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 1/10/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/29/1999
General Securities Representative Examination

Current Firm

TOBIAS FINANCIAL ADVISORS
TOBIAS FINANCIAL ADVISORS
BENJAMIN A. TOBIAS | TOBIAS FINANCIAL ADVISORS, INC. | TOBIAS FINANCIAL ADVISORS INC | TOBIAS FINANCIAL ADVISORS

CRD#: 104711 / SEC#: 801-33972

RIA
Registered Investment Advisory firm - (2/27/1989 Approved)
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Contact information

Main Address
1000 S. Pine Island Road Suite 450, Plantation, FL 33324
Mailing Address
Phone number
(954) 424-1660
Established
Firm type
Fiscal year end
# of Employees
25

SEC notice filing (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TOBIAS FINANCIAL ADVISORS, INC. ADV BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts1,967
AUM (Assets Under Management)$ 892,240,795

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/29/2025
Cover Page
Report
10/28/2024
Cover Page
Report
07/28/2023
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

TOBIAS FINANCIAL ADVISORS

TOBIAS FINANCIAL ADVISORS

CRD#: 104711Plantation, FL 33324

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